Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Anthony Debs | 2787770 | 1 | 01/19/2011 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Robert W Garbade | 5244400 | 1 | 09/01/2004 | Civil Bond | $0.00 | $0.00 | See FINRA Report |